Manager, Compliance Program Effectiveness Governance ) (New York)

Compliance Strategy And Operations Manager

At TD Bank US Compliance, we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures and processes, driving innovation at every level. Here, each team member has a chance to make a tangible impact both in day-to-day operations and in the design of a future-focused compliance program. This is not just about implementing a new program it's about creating a culture of compliance that will cascade throughout the organization.

The ideal candidate will thrive in a fast-paced, start-up-like setting as we build a new compliance structure that aligns with the bank's size, complexity, and risk profile. In this role, you'll need to be strategic, tactical, collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program for the future.

Beyond technical expertise, we're looking for someone with an entrepreneurial mindsetsomeone who can roll up their sleeves, takes the initiative and can anticipate needs before they arise. A comfort level with ambiguity and the ability to excel in a dynamic, evolving landscape are essential as the US Compliance team redefines the bank's compliance program and structure.

Most importantly, the right candidate is seeking an intellectual challenge, has a desire to learn, and is committed to building something impactful from the ground up. At TD Bank, you'll have the unique opportunity to help shape the future of the bank while collaborating with a team of enthusiastic colleagues dedicated to setting new industry standards.

We are seeking a proactive and analytical Manager for Compliance Strategy and Operations (S&O) with extensive experience building and scaling compliance programs. This critical role reports to the lead Governance Program Management Senior Manager and will lead the design and development of the Compliance Program Effectiveness Assessment. The ideal candidate possesses a deep understanding of Risk Control Self-Assessments, a high degree of organizational ability and diligence, a strategic thinker, is data driven and technology forward, willing to provide support across multiple teams and ensure tasks are captured, documented, monitored, and reported on time. This role does not have direct reports but will be supported by a Senior Analyst and will work closely with the Senior Manager of Global Compliance Strategy and Operations, Program Management. The successful candidate is willing to work hands-on to drive key initiatives across compliance, operational risk management, and audit functions, works well in a team dynamic to ensure the seamless execution of complex, high-impact projects.

Key Responsibilities :

• Compliance Operations and Infrastructure Development :
• Oversee the development, design, implementation and continuous improvement of the global Compliance Management Program throughout the development lifecycle from initial conception to implementation
• Program Effectiveness Assessment :
• Lead the planning, execution, and evolution of TD's global compliance Program Effectiveness Assessment
• Serve as the lead liaison with first-line business risk owners and compliance oversight functions
• Support the assessment of first-line risk owners' alignment with compliance requirements to ensure that systems, products, services, and practices comply with enterprise policies, standards, procedures, and applicable regulations
• Drive the development and implementation of risk metrics and indicators (KRIs / KPIs)
• Provide assurance and validation of first-line compliance program effectiveness, including methodology alignment, policy and procedure adherence, issue tracking accuracy, and control coverage adequacy, and advise on improvements based on assessment outcomes and findings
• Maintain detailed testing results, evidence, and outcomes in GRC platform
• Develop and produce data-driven dashboards and risk reporting materials using tools such as Power BI, Tableau, and Excel for use in senior management and Board-level governance forums
• Support and contribute to global ORM / ERM initiatives, sharing insights, across jurisdictions and aligning local execution with global ERM program strategy
• Cross-Functional Collaboration :
• Partner with and build trust with key business partners and act as a trusted resource
• Work closely with compliance, risk, operations, and technology teams to implement new workflows, processes, and procedures that align with compliance objectives
• Collaborate with TD's vertical and horizontal functions to address risk and compliance issues
• Consult with key stakeholders on solutions based on good internal models and advice
• Recognize that risk management and compliance are about preparation and prevention, as much as response and recovery
• Hands-on Execution :
• Roll up your sleeves to handle day-to-day compliance tasks while building scalable processes
• Produce quality work products independently and collectively with team members